DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Advisor moves
Arrivals at Oppenheimer & Co. Inc.
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Gregg William Whelan | D.A. Davidson & Co. independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 20, 2023 | Nov 30, 2023 |
| Richard Cheung | Truist Advisory Services, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2023 | Jun 3, 2025 (536 d) |
| Gerardo Pena Magana | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 15, 2023 | Dec 2, 2023 |
| David Brian Holmes | Raymond James & Associates, Inc. national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 14, 2023 | Dec 6, 2023 |
| Nicholas John Hall | Maxim Financial Advisors LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 14, 2023 | Nov 16, 2023 |
| Richard Frank Montaldo | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 13, 2023 | Nov 24, 2023 |
| Gail Ann Litchfield | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 12, 2023 | May 1, 2025 (506 d) |
| Margaret Ann Molloy | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 29, 2023 | Dec 6, 2023 |
| Emilyann D Rubio | Comerica Securities independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 21, 2023 | Sep 20, 2024 (304 d) |
| James Giovanni Novello | John Hancock Personal Financial Services, LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 14, 2023 | Jul 3, 2024 (232 d) |
| Karen Schwocho-Tunnecliffe | J.P. Morgan Securities LLC wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 8, 2023 | Nov 10, 2023 |
| Jon M Sanders | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2023 | Nov 6, 2023 |
| Joseph Orsini | Eaglebrook Advisors mixed wealth | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 1, 2023 | Sep 10, 2026 (1044 d) |
| Carlos A Guerra | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 17, 2023 | Oct 16, 2023 |
| Lauren Eudora Lewis | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 29, 2023 | Oct 4, 2023 |
| Thomas David Avazian | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 25, 2023 | Sep 25, 2023 |
| Stephanie Ann Zysk | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 20, 2023 | Sep 7, 2023 |
| Candia Rose Di Tonno | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 12, 2023 | Sep 11, 2023 |
| Brian Johnson | UBS Financial Services Inc. wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 8, 2023 | Sep 8, 2023 |
| Jeffrey Robert Lallemand | Maxim Financial Advisors LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 6, 2023 | Aug 8, 2023 |
| Scott Tyler Odonnell | E*Trade Capital Management, LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 21, 2023 | Sep 12, 2023 |
| Jacob Z Moss | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 15, 2023 | Jul 20, 2023 |
| Wayne Whited | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 14, 2023 | Aug 10, 2023 |
| Austin T Kline | Fidelity Personal And Workplace Advisors BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2023 | Dec 15, 2023 (135 d) |
| James Walter Murphy | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 27, 2023 | Jul 26, 2023 |
| Paul Arthur Laliberte | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 27, 2023 | Jul 27, 2023 |
| Cynthia Anne Kelley | J.P. Morgan Securities LLC wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 22, 2023 | Jul 25, 2023 |
| Xingdi Zhou | Robert W. Baird & Co. Incorporated mixed wealth | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 7, 2023 | Oct 3, 2024 (454 d) |
| Samuel Horn | Park Avenue Securities LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 6, 2023 | Jul 6, 2023 |
| Mason Strickland Adams | J.P. Morgan Securities LLC wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 30, 2023 | Jul 11, 2023 |
| Tatiana J Zurek | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 27, 2023 | Jun 26, 2023 |
| Bruce Andrew Evans | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 23, 2023 | Jul 11, 2023 |
| Susan Jane Vitkus | Wells Fargo Advisors wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 21, 2023 | Jun 12, 2023 |
| Jason Lee Chabek | Fifth Third Securities, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2023 | Aug 16, 2023 (63 d) |
| Tyler William Pratt | RBC Capital Markets, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 26, 2023 | May 18, 2023 |
| Mark Eric Terna | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 25, 2023 | May 11, 2023 |
| John C Ericson | Rothschild Wealth LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 22, 2023 | Jan 22, 2025 (611 d) |
| Laura G Kellerman | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 24, 2023 | Apr 6, 2023 |
| Michael C Holahan | Fidelity Personal And Workplace Advisors BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 21, 2023 | Jan 31, 2025 (651 d) |
| Kyle Alexander Codey | Pruco Securities, LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2023 | May 4, 2023 |
| Jenna R Dickinson | MML Investors Services, LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 16, 2023 | Mar 15, 2023 |
| Timothy Owen Drinkall | Clear Harbor Asset Management, LLC independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 13, 2023 | May 9, 2024 (423 d) |
| Tiffany Mondori Ledesma | D.A. Davidson & Co. independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 2, 2023 | Mar 3, 2023 |
| Brian S Ocampo | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 2, 2023 | Feb 24, 2023 |
| Luis Abreu | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 23, 2023 | Mar 22, 2023 |
| Gustave John Krafve | Ameriprise Financial Services, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 20, 2023 | Feb 16, 2023 |
| Craig Stephen Jantz | Pruco Securities, LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 6, 2023 | Mar 22, 2023 (44 d) |
| Javier Alfredo Briceno | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 26, 2023 | Jan 23, 2023 |
| Derek Scott Radulski | D.A. Davidson & Co. independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 20, 2023 | Jan 18, 2023 |
| Federico M Barreto | Morgan Stanley wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 19, 2023 | Jan 17, 2023 |
| Hui Zhu | Commonwealth Financial Network national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2023 | Jan 27, 2023 |
| Jeffrey Wolf Margolies | 1914 Advisors independent RIA | Oppenheimer & Co. Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 5, 2022 | Dec 5, 2022 |
| Eric Serfaty | UBS Financial Services Inc. wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 25, 2022 | Nov 15, 2022 |
| Kyle Andrew Matthews | MML Investors Services, LLC BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 23, 2022 | Nov 21, 2022 |
| Brian Arthur Geltzeiler | RBC Capital Markets, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2022 | Nov 15, 2022 |
| Aaron Christopher Maciak | Ameriprise Financial Services, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 9, 2022 | Nov 7, 2022 |
| John E Wade | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2022 | Oct 26, 2022 |
| Joshua Patrick Harness | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2022 | Oct 26, 2022 |
| Aaron Haskins Fiske | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2022 | Oct 26, 2022 |
| Michelle B Tauchen | B. Riley Wealth Advisors, Inc. BD affiliated | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2022 | Oct 31, 2022 |
1,230 moves match.